Timothy P. Newman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy Paul Newman, who also goes by Tim Newman, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1983. Timothy had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2021 - October 4, 2024
MORGAN STANLEY
August 20, 2021 - October 4, 2024
MORGAN STANLEY
January 9, 2006 - August 24, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 2006 - August 24, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 2001 - January 18, 2006
J.P. MORGAN SECURITIES LLC
March 26, 2001 - January 18, 2006
J.P. MORGAN SECURITIES LLC
October 26, 1994 - April 3, 2001
CIBC WORLD MARKETS CORP.
June 19, 1991 - October 26, 1994
LASALLE ST SECURITIES, L.L.C.
August 31, 1990 - October 16, 1990
KESSLER ASHER CLEARING L.P.
February 10, 1989 - August 13, 1990
HAMILTON INVESTMENTS, INC.
February 2, 1988 - February 11, 1989
AMERICAN FRONTEER FINANCIAL CORPORATION
October 29, 1987 - February 23, 1988
FIRST OF MICHIGAN CORPORATION
May 19, 1986 - October 7, 1987
SANCTUARY SECURITIES, INC.
October 10, 1985 - May 21, 1986
CIBC WORLD MARKETS CORP.
March 1, 1983 - September 27, 1985
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
